Effective Management and Oversight of the Custody Rule for Financial Firms

OVERVIEW There have been significant deficiencies over the years since The Custody Rule was amended. It is imperative for Advisers to understand the rule and how to effectively manage and oversee the policies and procedures surrounding it in order to properly secure their clients’ assets and to avoid significant regulatory enforcement and penalties. We will analyze best practices for the financial services industry to take in regards to the regulatory or “The Custody Rule”. We will explain the rule and the potential effect it may have on your firm and clients.

WHY SHOULD YOU ATTEND

Stay informed on the recent Custody rule issues to keep your firm out of the regulators spotlight. Learn what to do when you have Custody and how to effectively manage the compliance requirements.

AREAS COVERED

Rule 206(4)-2
Custody Defined
Frequently Asked Questions
We have Custody, Now What?
Custody Fees
Client Communication
Internal Forensic Testing
External Forensic Testing

LEARNING OBJECTIVES

Development, Maintenance and testing of the IPS process.

WHO WILL BENEFIT

This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals


For more details click on this link
http://bit.ly/2nQCSJr

Email: [email protected]
Toll Free:+1-888-300-8494
Tel: +1-720-996-1616
Fax: +1-888-909-1882

PRICE :$199

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